| Securities Registration |
|
Qualification Registration
Coordinated Registration
|
300.00
300.00
|
| Securities Exemptions |
|
Securities Exemptions |
60.00 |
| Transactional Exemptions |
|
All Transactional Exemptions |
60.00 |
| Notice Filings |
|
Investment Companies
Regulation D, Rule 506
Rule 506 more than 15 days after first sale in Utah
Federal Covered Advisers
|
600.00
100.00
500.00
100.00
|
| Requests for Division Action |
|
|
No-action Opinions
Interpretive Opinions
Fairness Hearings |
120.00
120.00
1,500.00 |
| Licensing |
|
Agent (new and renewal)
Broker/Dealer (new and renewal)
Investment Adviser (new and renewal)
Investment Adviser Representative (new and renewal)
List of Licensees (previously compiled data)
Request for ad hoc reports can cost significantly more.
|
60.00
200.00
100.00
50.00
25.00
|
| Money Management Act |
|
|
Certified Dealer Application (new and renewal)
Certified Investment Adviser Application (new and renewal) |
500.00
500.00 |
